Responsible Officer
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Responsible Officer (Type 4,9 Full/Part-Time)
Act as a Responsible Officer approved by the SFC for Type 4 and Type 9 (i.e., Asset Management) regulated activities. Oversee, manage, and ensure compliance with all applicable laws, rules, and regulations, including the SFC's Code of Conduct and relevant guidelines.
Key responsibilities
- Provide guidance and leadership on the development, implementation, and monitoring of effective compliance policies and procedures
- Monitor trading activities and conduct regular compliance reviews and risk assessments to identify and mitigate potential risks
- Serve as the primary-secondary contact with the SFC and handle all regulatory filings, reporting, and communications
- Keep abreast of regulatory developments and advise the company on related compliance matters
About you
- Must be a current holder of SFC Type 4 and 9 licenses with both unconditional RO status and eligibility to act as a Responsible Officer (RO) for Type 4 and 9 regulated activities
- At least 5 years of relevant experience in the financial services industry, with a strong understanding of SFC regulations and guidelines
- Possess strong leadership and communication skills, with the ability to work effectively with all levels of the organization
- Be detail-oriented and highly analytical, with a proactive approach to problem-solving
- Hold a bachelor's degree in Finance, Law, Business Administration, or a related field
- Fluency in English and (Cantonese or Mandarin) is required
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